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Financial Advisers: ANNE-MARIE SEAGRIM Information

This is the detailed information about ANNE-MARIE SEAGRIM, it is the Financial Advisers, its unique identifying number allocated to the credit licensee is 000230527, the year the Financial Adviser first provided advice is 1980 (YYYY), the name of the register the record belongs to Financial Advisers. This data update on: 2020-10-28 16:55:10.

Financial Adviser Number: 000230527
Financial Adviser Name: ANNE-MARIE SEAGRIM
The role of the Financial Adviser: Financial Adviser
The year the Financial Adviser first provided advice: 1980
  1. Financial Adviser Status: Ceased
    Name of the licence holder: QSMART SECURITIES PTY LTD
    Licence Number: 000307396
    Licence ABN: 46122396258
    The date the Financial Adviser commenced the appointment: 2008-07-31
    The date the Financial Adviser ceased the appointment: 2010-07-19
    Authorised Representative Name: ANNE-MARIE SEAGRIM
    Authorised Representative Number: 000230527
    Disciplinary actions start date against the Financial Adviser: 2011-06-27
    Disciplinary actions end date against the Financial Adviser: 2011-12-27
    Disciplinary action type: Banning Order/AAT Decision and Reasons for Decision reducing original Banning Order
    Provides details on the qualifications or training courses the adviser has completed that are relevant to providing FS: Diploma of Financial Planning - Deakin University
    Provides details of memberships of professional bodies or industry associations relevant to providing financial services: Association of Financial Advisers (AFA)
  2. Financial Adviser Status: Current
    Name of the licence holder: AD ADVISORY SERVICES PTY LTD
    Licence Number: 000237058
    Licence ABN: 68005830802
    The company(ies) or people who control the licensee's business: AD Financial Services Pty Ltd ~ Steven KWOK [Date Ceased: 2018-09-26] ~ Tuan HOANG [Date Ceased: 2018-09-26]
    The date the Financial Adviser commenced the appointment: 2019-09-03
    Authorised Representative Name: COMPOINT PTY LTD
    Authorised Representative Number: 000473160
    Rep Appointed ABN: 72169928018
    Disciplinary actions start date against the Financial Adviser: 2011-06-27
    Disciplinary actions end date against the Financial Adviser: 2011-12-27
    Disciplinary action type: Banning Order/AAT Decision and Reasons for Decision reducing original Banning Order
    Fin Deposit and Payment Products/Non-basic Deposit Products: 1
    Fin Government Debentures, Stocks or Bonds: 1
    Fin Life Products/Investment Life Insurance Products: 1
    Fin Life Products/Life Risk Insurance Products: 1
    Fin Managed Investment Schemes, including IDPS: 1
    Fin Retirement Savings Account Products: 1
    Fin Securities: 1
    Fin Superannuation: 1
    Fin Margin Lending Facility/Non-Standard Margin Lending Facility: 0
    Provides details on the qualifications or training courses the adviser has completed that are relevant to providing FS: Diploma of Financial Planning - Deakin University
    Provides details of memberships of professional bodies or industry associations relevant to providing financial services: Association of Financial Advisers (AFA)
  3. Financial Adviser Status: Ceased
    Name of the licence holder: MADISON FINANCIAL GROUP PTY LTD
    Licence Number: 000246679
    Licence ABN: 36002459001
    The company(ies) or people who control the licensee's business: CLIME INVESTMENT MANAGEMENT LTD ~ SARGON CAPITAL PTY LTD [Date Ceased: 2020-07-13] ~ PHAROS FINANCIAL GROUP PTY LTD [Date Ceased: 2018-06-08]
    The date the Financial Adviser commenced the appointment: 2014-09-09
    The date the Financial Adviser ceased the appointment: 2019-09-02
    Authorised Representative Name: MADISON FINANCIAL GROUP PTY LTD
    Authorised Representative Number: 000246679
    Rep Appointed ABN: 36002459001
    Disciplinary actions start date against the Financial Adviser: 2011-06-27
    Disciplinary actions end date against the Financial Adviser: 2011-12-27
    Disciplinary action type: Banning Order/AAT Decision and Reasons for Decision reducing original Banning Order
    Provides details on the qualifications or training courses the adviser has completed that are relevant to providing FS: Diploma of Financial Planning - Deakin University
    Provides details of memberships of professional bodies or industry associations relevant to providing financial services: Association of Financial Advisers (AFA)
  4. Financial Adviser Status: Ceased
    Name of the licence holder: SEAGRIMS PTY LTD
    Licence Number: 000229449
    Licence ABN: 93008123699
    The date the Financial Adviser commenced the appointment: 2003-06-24
    The date the Financial Adviser ceased the appointment: 2011-07-01
    Authorised Representative Name: ANNE-MARIE SEAGRIM
    Authorised Representative Number: 000230527
    Disciplinary actions start date against the Financial Adviser: 2011-06-27
    Disciplinary actions end date against the Financial Adviser: 2011-12-27
    Disciplinary action type: Banning Order/AAT Decision and Reasons for Decision reducing original Banning Order
    Provides details on the qualifications or training courses the adviser has completed that are relevant to providing FS: Diploma of Financial Planning - Deakin University
    Provides details of memberships of professional bodies or industry associations relevant to providing financial services: Association of Financial Advisers (AFA)

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Data Dictionary

The company(ies) or people who control the licensee's business: They can sometimes be a majority shareholder or able to control votes at meetings or board composition.
Disciplinary action type: Disciplinary action type. ASIC has regulatory powers in relation to financial advisers and can ban individuals from providing financial product advice.
Fin, e.g: Fin Carbon Credits/Carbon Unit, means Provide Financial Product Advice - Carbon Credits/Carbon Unit. The following logic is applied to product authorisation codes. IF Financial Adviser is authorised to provide advice on this product AND their status equals current THEN show 1 ELSE show null. Product Authorisations are for current Financial Advisers only, null values are used for ceased Financial Advisers.
If more than one entry exists they will be concatenated together and separated by a tilde.